Regulation round-up May 2016

Regulation round-up is our monthly email to all regulated firms, updating you on the latest news that affects your sector.

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Introduction: Simon Green, Director of General Insurance & Conduct Specialists

Welcome to the May issue of Regulation round-up. As our 'Live & Local' roadshow continues its journey to a town near you over the year, one of the issues we're discussing is our focus on culture and governance.

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Hot topic: Suitability in wealth management

The UK is a world leader in providing wealth management services. To ensure this position remains sustainable requires the market needs to stay competitive and function with customers at the centre of its’ business models.

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Hot topic: Our new website launches in June

Our new website will be a big step forward in providing the right information to all our users in the most accessible way. Five new sections will go live; Homepage, About us, Firms, Markets and Consumers.

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In your sector…

Banks and building societies

TR: Embedding the MMR - Responsible lending review

FS: Feedback Statement on competition in the mortgage sector

MCD queries mailbox decommissioned

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Investment managers and stockbrokers

PS: Market Abuse Regulation

CP: UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook

UK Debt Market Forum report

MiFID II Conduct Forum

Recovery & Resolution: observations so far

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Financial advisers

FAMR survey results

MiFID II Conduct Forum

Financial adviser fine and ban for insider dealing

FCA: Live & Local

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Wealth managers and private bankers

PS: Market Abuse Regulation

CP: UCITS V Level 2 Regulation, SFTR and consequential changes to the Handbook

MiFID II Conduct Forum

Recovery & Resolution: observations so far

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Mortgage advisers

TR: Embedding the MMR - Responsible lending review

FS: Feedback Statement on competition in the mortgage sector

MCD queries mailbox decommissioned

FCA: Live & Local

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Insurers & insurance intermediaries

FCA: Live & Local

PS: Pension reforms

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Consumer credit

Suspended sentence for director

MCD queries mailbox decommissioned

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Credit unions

Credit union webinars

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